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LPL Financial LLC

SEC CIK
0001403438
Latest filing
Aug 7, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Feb 14, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
4,323
+32 vs. Q3 2021
Portfolio value
$119.1B
+$12.8B (+12.0%) vs. Q3 2021
Filed
Feb 14, 2022
SEC
Holdings of LPL Financial LLC in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Invesco QQQ Trust Series I46090E103ETF7,340,847$2.92B2.5%+530,394+7.8%Added–
iShares Core S&P 500 ETF464287200ETF6,011,959$2.87B2.4%+431,865+7.7%Added–
Vanguard Total Bond Market ETF921937835ETF32,027,127$2.71B2.3%+1,259,172+4.1%Added–
AAPLApple Inc.Stock14,326,723$2.54B2.1%+550,513+4.0%AddedHistory
SPYSPDR S&P 500 ETF TrustETF5,344,372$2.54B2.1%+217,010+4.2%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF9,364,798$2.26B1.9%−200,552−2.1%Reduced–
iShares Core S&P Mid-Cap ETF464287507ETF6,166,178$1.75B1.5%+210,504+3.5%Added–
iShares Core MSCI Eafe ETF46432F842ETF23,294,634$1.74B1.5%+1,279,768+5.8%Added–
iShares Core S&P U.S. Growth ETF464287671ETF13,094,252$1.51B1.3%+157,024+1.2%Added–
iShares Russell 2000 ETF464287655ETF6,784,853$1.51B1.3%+29,632+0.4%Added–
MSFTMicrosoft CorpStock4,376,675$1.47B1.2%+185,726+4.4%AddedHistory
Vanguard S&P 500 ETF922908363ETF3,353,092$1.46B1.2%+140,906+4.4%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF24,359,044$1.46B1.2%+1,125,985+4.8%Added–
iShares MSCI USA Quality Factor ETF46432F339ETF9,083,247$1.32B1.1%+187,986+2.1%Added–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF13,979,766$1.30B1.1%+634,974+4.8%Added–
Vanguard Morningstar Growth ETF922908736ETF3,933,035$1.26B1.1%+79,417+2.1%Added–
iShares Tr46435G425ESG AWR MSCI USA11,107,152$1.20B1.0%+798,092+7.7%Added–
AMZNAmazon Com IncStock330,034$1.10B0.9%+16,710+5.3%AddedHistory
iShares Core S&P Small Cap ETF464287804ETF8,055,072$922.4M0.8%+1,065,616+15.2%Added–
Vanguard Morningstar Value ETF922908744ETF6,118,032$900.0M0.8%+282,559+4.8%Added–
iShares Core S&P US Value ETF464287663ETF10,982,765$838.4M0.7%+404,174+3.8%Added–
First Tr Exchange-Traded FD33734H106SHS19,222,054$827.3M0.7%+472,757+2.5%Added–
iShares Russell 1000 Growth ETF464287614ETF2,624,427$802.0M0.7%+64,356+2.5%Added–
Vanguard Dividend Appreciation ETF921908844ETF4,541,203$780.0M0.7%+188,783+4.3%Added–
Vanguard Ftse Developed Markets ETF921943858ETF15,042,533$768.1M0.6%+833,399+5.9%Added–
Vanguard Information Technology ETF92204A702ETF1,561,048$715.2M0.6%+246,041+18.7%Added–
Vanguard Morningstar Small-Cap ETF922908751ETF3,136,617$708.9M0.6%+112,994+3.7%Added–
State Street Technology Select Sector SPDR ETF81369Y803ETF3,962,490$689.0M0.6%+306,074+8.4%Added–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF9,329,546$676.1M0.6%+1,260,664+15.6%Added–
iShares Tr46435U853BROAD USD HIGH15,207,165$626.4M0.5%+691,727+4.8%Added–
iShares MSCI USA Min Vol Factor ETF46429B697ETF7,739,843$626.2M0.5%+723,835+10.3%Added–
NVDANVIDIA CorpStock2,104,327$618.9M0.5%+150,785+7.7%AddedHistory
First Trust Rising Dividend Achievers ETF33738R506ETF11,903,632$616.5M0.5%+3,572,648+42.9%Added–
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF7,228,930$611.2M0.5%+390,111+5.7%Added–
State Street Financial Select Sector SPDR ETF81369Y605ETF15,482,518$604.6M0.5%+2,580,428+20.0%Added–
iShares Tr46434V613CORE UNIVRSL USD11,407,184$603.8M0.5%+556,176+5.1%Added–
iShares Tips Bond ETF464287176ETF4,598,385$594.1M0.5%+1,087,593+31.0%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF2,330,319$593.7M0.5%+115,512+5.2%Added–
iShares Tr464288877EAFE VALUE ETF11,292,498$569.0M0.5%+1,031,525+10.1%Added–
iShares Tr464288885EAFE GRWTH ETF4,958,261$546.8M0.5%+490,964+11.0%Added–
iShares U.S. Treasury Bond ETF46429B267ETF19,768,802$527.4M0.4%+1,933,873+10.8%Added–
iShares Tr464288281JPMORGAN USD EMG4,752,717$518.3M0.4%+263,857+5.9%Added–
iShares S&P 500 Growth ETF464287309ETF6,188,306$517.8M0.4%+773,331+14.3%Added–
iShares Core U.S. Aggregate Bond ETF464287226ETF4,503,082$513.7M0.4%−560,852−11.1%Reduced–
GOOGLAlphabet Inc.Stock171,913$498.0M0.4%+9,497+5.8%AddedHistory
Vanguard Ftse Emerging Markets ETF922042858ETF10,049,906$497.1M0.4%+170,274+1.7%Added–
iShares Tr464287622RUS 1000 ETF1,862,251$492.4M0.4%+7,640+0.4%Added–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF8,755,570$488.8M0.4%+1,133,396+14.9%Added–
TSLATesla, Inc.Stock451,223$476.8M0.4%+11,481+2.6%AddedHistory
METAMeta Platforms, Inc.Stock1,405,011$472.7M0.4%+52,288+3.9%AddedHistory
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG4,852,728$461.7M0.4%+316,232+7.0%Added–
Vanguard Short-Term Bond ETF921937827ETF5,708,977$461.5M0.4%+66,313+1.2%Added–
Vanguard High Dividend Yield Index ETF921946406ETF3,891,825$436.3M0.4%+250,197+6.9%Added–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF10,346,984$434.6M0.4%+748,684+7.8%Added–
iShares Core Dividend Growth ETF46434V621ETF7,478,254$415.6M0.3%+449,062+6.4%Added–
GOOGAlphabet Inc.Stock141,012$408.0M0.3%+5,875+4.3%AddedHistory
HDHome Depot, Inc.Stock973,675$404.1M0.3%+55,638+6.1%AddedHistory
BRK.BBerkshire Hathaway IncStock1,339,618$400.5M0.3%+75,749+6.0%AddedHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF13,507,624$391.3M0.3%−88,119−0.6%Reduced–
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF1,910,240$390.5M0.3%+308,950+19.3%Added–
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 11,071,742$389.4M0.3%+26,320+2.5%AddedHistory
State Street Industrial Select Sector SPDR ETF81369Y704ETF3,679,559$389.3M0.3%−194,962−5.0%Reduced–
Schwab US Dividend Equity ETF808524797ETF4,773,712$385.9M0.3%+651,343+15.8%Added–
State Street Health Care Select Sector SPDR ETF81369Y209ETF2,716,033$382.7M0.3%+5,007+0.2%Added–
SPDR Series Trust78464A805ST STR PR SP15006,534,964$382.0M0.3%+880,401+15.6%Added–
iShares Tr464288588MBS ETF3,479,417$373.8M0.3%+37,268+1.1%Added–
iShares Tr464287150CORE S&P TTL STK3,477,285$372.0M0.3%+354,266+11.3%Added–
iShares Tr46432F388MSCI USA VALUE3,277,261$358.8M0.3%−180,948−5.2%Reduced–
JNJJohnson & JohnsonStock2,091,108$357.7M0.3%+78,540+3.9%AddedHistory
iShares Russell 1000 Value ETF464287598ETF2,108,188$354.0M0.3%+143,004+7.3%Added–
VVisa Inc.Stock1,617,902$350.6M0.3%+77,108+5.0%AddedHistory
ARK Innovation ETF00214Q104ETF3,667,927$346.9M0.3%−275,701−7.0%Reduced–
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF9,459,970$345.1M0.3%+2,047,670+27.6%Added–
GLDSPDR Gold TrustETF2,009,208$343.5M0.3%−15,228−0.8%ReducedHistory
JPMJPMorgan Chase & CoStock2,157,286$341.6M0.3%+179,052+9.1%AddedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF7,302,590$326.4M0.3%+1,445,889+24.7%Added–
Vanguard Total International Bond ETF92203J407ETF5,826,072$321.4M0.3%+263,089+4.7%Added–
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF6,240,633$310.4M0.3%+46,111+0.7%Added–
SPDR Series Trust78464A763ST STR SP DIV2,397,673$309.6M0.3%+102,556+4.5%Added–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT1,823,418$296.8M0.2%+145,223+8.7%Added–
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD5,498,785$292.6M0.2%+169,072+3.2%Added–
PGProcter & Gamble CoStock1,771,606$289.8M0.2%+48,248+2.8%AddedHistory
Vanguard Intermediate-Term Bond ETF921937819ETF3,168,334$277.6M0.2%+41,109+1.3%Added–
PFEPfizer IncStock4,627,235$273.2M0.2%+192,717+4.3%AddedHistory
State Street Real Estate Select Sector SPDR ETF81369Y860ETF5,273,616$273.2M0.2%+396,984+8.1%Added–
iShares S&P 500 Value ETF464287408ETF1,733,272$271.5M0.2%+3,915+0.2%Added–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT5,346,652$267.3M0.2%−87,937−1.6%Reduced–
iShares Tr46429B7470-5 YR TIPS ETF2,522,699$267.1M0.2%+132,875+5.6%Added–
iShares Tr46435G474FALN ANGLS USD8,892,830$266.5M0.2%+3,849,852+76.3%Added–
ABBVAbbVie Inc.Stock1,951,519$264.2M0.2%+135,002+7.4%AddedHistory
iShares MSCI Eafe ETF464287465ETF3,312,199$260.6M0.2%−72,013−2.1%Reduced–
UNHUnitedHealth Group IncStock518,576$260.4M0.2%+53,834+11.6%AddedHistory
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD3,116,083$253.2M0.2%+13,824+0.4%Added–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF5,272,034$249.6M0.2%+21,323+0.4%Added–
DISWalt Disney CoStock1,609,446$249.3M0.2%+90,394+6.0%AddedHistory
First Trust Dow Jones Internet Index Fund33733E302ETF1,081,756$244.6M0.2%+72,644+7.2%Added–
COSTCostco Wholesale CorpStock416,373$236.4M0.2%+20,704+5.2%AddedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF4,225,688$234.5M0.2%+160,447+3.9%Added–
iShares Tr464288414NATIONAL MUN ETF1,985,016$230.8M0.2%+338,024+20.5%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF6,383,614$230.8M0.2%−1,196,598−15.8%Reduced–

Options (12)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of LPL Financial LLC in Q4 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$37.2M–
Invesco QQQ Trust Series I46090E103ETF$11.0M–
AAPLApple Inc.Stock$3.23M–
iShares Russell 2000 ETF464287655ETF$2.98M–
DLTRDollar Tree, Inc.COM$2.87M–
ENTGEntegris IncCOM$2.29M–
QSQuantumScape CorpCOM CL A$2.22M–
XPOXPO, Inc.COM$1.52M–
State Street Financial Select Sector SPDR ETF81369Y605ETF$1.51M–
LOWLowes Companies IncStock$620.0K–
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF$491.0K–
BABoeing CoStock$201.0K–

Sold out since Q3 2021 (205)

Positions held at the end of Q3 2021 that are gone from this filing.

The largest 100 of 205 by value last quarter.

Positions of LPL Financial LLC sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
iShares Tr46434VBK5IBONDS DEC21 ETF1,018,745$25.2M<0.1%–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS837,669$17.7M<0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB827,845$17.5M<0.1%History
WOLFWolfspeed, Inc.COM124,187$10.0M<0.1%History
Innovator ETFs Tr II45783G201S&P INVSTMNT GRD355,572$8.56M<0.1%–
Score Media & Gaming Inc80919D202CL A SUB VTG SHS210,205$7.20M<0.1%–
Invesco BulletShares 2021 HY Corp (BSJL)46138J809Exchange Traded Fund311,873$7.17M<0.1%–
VERVEREIT, Inc.COM120,696$5.46M<0.1%History
iShares Tr46435G789IBONDS DEC2021196,076$5.02M<0.1%–
KSUKansas City SouthernCOM NEW17,191$4.65M<0.1%History
MNDTMandiant, Inc.COM210,637$3.75M<0.1%History
Trillium Therapeutics Inc.89620X506COM NEW191,328$3.36M<0.1%–
TSEOQTrinseo PLCSHS62,085$3.35M<0.1%History
HRCHill-Rom Holdings, Inc.COM20,862$3.13M<0.1%History
Nuveen Diversified Divid & I6706EP105COM246,532$2.56M<0.1%–
Guggenheim Enhanced Equity I40167B100COM257,705$2.39M<0.1%–
CXPColumbia Property Trust, Inc.COM NEW118,601$2.26M<0.1%History
CAMTCamtek LtdORD44,919$1.82M<0.1%History
ALGAlamo Group IncCOM10,770$1.50M<0.1%History
HLFHerbalife Ltd.COM SHS33,343$1.41M<0.1%History
UPLDUpland Software, Inc.COM40,244$1.35M<0.1%History
RPAIRetail Properties of America, Inc.CL A103,697$1.34M<0.1%History
INOVInovalon Holdings, Inc.COM CL A32,514$1.31M<0.1%History
Janus Detroit STR Tr47103U407LONG TERM CARE40,826$1.25M<0.1%–
CoreSite Realty Corp21870Q105COM8,740$1.21M<0.1%–
XLRNAcceleron Pharma IncCOM6,412$1.10M<0.1%History
Bancorpsouth BK Tupelo Miss05971J102COM36,043$1.07M<0.1%–
iShares Tr46435U226IBONDS 21 TRM HG43,270$1.05M<0.1%–
CADECadence BancorporationCL A43,818$962.0K<0.1%History
ProShares Tr74347R396PSHS SH MSCI EMR72,779$921.0K<0.1%–
ESEAEuroseas Ltd.SHS25,473$857.0K<0.1%History
Nuveen Corporate Incm Noveme67077N106COM91,330$857.0K<0.1%–
PLMRPalomar Holdings, Inc.Stock9,561$773.0K<0.1%History
iShares Tr464288265MSCI KOKUSAI ETF7,602$720.0K<0.1%–
ALKSAlkermes plc.SHS22,136$683.0K<0.1%History
PDSBPDS Biotechnology CorpCOM45,436$677.0K<0.1%History
PKOPIMCO Income Opportunity FundCOM25,490$625.0K<0.1%History
FIBKFirst Interstate Bancsystem IncCOM15,487$623.0K<0.1%History
EATBrinker International, IncStock12,441$610.0K<0.1%History
FHIFederated Hermes, Inc.CL B18,034$586.0K<0.1%History
Nuveen Tax-Advantaged Divid67073G105COM36,528$579.0K<0.1%–
NPOEnpro Inc.COM6,548$570.0K<0.1%History
HIBBHibbett IncCOM8,050$569.0K<0.1%History
Westpac Banking Corp961214301SPONSORED ADR29,842$553.0K<0.1%–
RVNCRevance Therapeutics, Inc.COM19,347$539.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J569BULSHS 2021 MUNI20,562$519.0K<0.1%–
IBCPIndependent Bank CorpCOM NEW23,737$510.0K<0.1%History
JTANuveen Tax Advantaged Total Return Strategy FundCOM45,663$507.0K<0.1%History
AVIDAvid Technology, Inc.COM17,264$499.0K<0.1%History
BOCHBank of Commerce HoldingsCOM32,438$492.0K<0.1%History
TSCTriState Capital Holdings, Inc.COM23,197$491.0K<0.1%History
TCMDTactile Systems Technology IncCOM10,735$477.0K<0.1%History
VTAInvesco Dynamic Credit Opportunities FundCOM40,809$477.0K<0.1%History
STMPStamps.com IncCOM NEW1,430$472.0K<0.1%History
ETF Ser Solutions26922B204DEFIANCE NXT GN20,545$471.0K<0.1%–
NOMDNomad Foods LtdUSD ORD SHS16,804$463.0K<0.1%History
BANDBandwidth Inc.COM CL A4,987$450.0K<0.1%History
COFSChoiceone Financial Services IncCOM18,137$449.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J577BULETSHS 202920,725$437.0K<0.1%–
ODPODP CorpCOM10,777$433.0K<0.1%History
Barclays Bank PLC06746P563ETN LKD 488,003$428.0K<0.1%–
Invesco India Exchange-Trade46137R109INDIA ETF14,989$427.0K<0.1%–
USPHU S Physical Therapy IncCOM3,863$427.0K<0.1%History
LMRKLandmark Infrastructure Partners LPCOM UNIT LTD25,124$411.0K<0.1%History
BlackRock 2022 GBL Incm Opp09258P104COM77,351$404.0K<0.1%–
MVBFMVB Financial CorpCOM9,160$392.0K<0.1%History
iShares Tr46434V423MSCI SAUDI ARBIA9,163$383.0K<0.1%–
ProShares Tr74347B250PSHS SH MDCAP40015,494$382.0K<0.1%–
Alps ETF Tr00162Q536DYNA CORE IN ETF14,486$368.0K<0.1%–
IHDVoya Emerging Markets High Dividend Equity FundCOM48,998$362.0K<0.1%History
Kraneshares Tr500767835MSCI ALL CHINA9,660$361.0K<0.1%–
XECCimarex Energy CoCOM4,133$360.0K<0.1%History
ATHMAutohome Inc.SP ADS RP CL A7,540$354.0K<0.1%History
CNBKACentury Bancorp IncCL A NON VTG3,000$346.0K<0.1%History
WBWEIBO CorpSPONSORED ADR7,184$341.0K<0.1%History
HUCKHuckleberry.ai, Inc.Stock4,008$338.0K<0.1%History
RMAXRE/MAX Holdings, Inc.CL A10,822$337.0K<0.1%History
MDPHawkeye Acquisition, Inc.COM6,001$334.0K<0.1%History
Innovator ETFs Tr II45783G102LADRD FD S&P 5009,511$332.0K<0.1%–
Nuveen Select Tax Free Incom67063C106SH BEN INT21,247$332.0K<0.1%–
LEUCentrus Energy CorpStock8,434$326.0K<0.1%History
Global X FDS37950E242MSCI CHINA MATRL12,350$320.0K<0.1%–
DBX ETF Tr233051242XTRCKR RUSL 10008,058$319.0K<0.1%–
AERIAerie Pharmaceuticals IncCOM26,634$304.0K<0.1%History
CRCCalifornia Resources CorpCOM STOCK7,400$303.0K<0.1%History
PHRPhreesia, Inc.COM4,858$300.0K<0.1%History
LNWOLight & Wonder, Inc.COM3,605$299.0K<0.1%History
Taro Pharmaceutical Inds LtdM8737E108SHS4,642$295.0K<0.1%–
Enable Midstream Partners, LP292480100COM UNIT RP IN35,920$292.0K<0.1%–
First Tr Exch TRD Alphdx FD33737J190GERMANY ALPHA5,319$292.0K<0.1%–
WWWWolverine World Wide IncCOM9,747$291.0K<0.1%History
CVACovanta Holding CorpCOM14,362$289.0K<0.1%History
Farfetch Ltd30744W107ORD SH CL A7,595$285.0K<0.1%–
THSTreeHouse Foods, Inc.COM7,126$284.0K<0.1%History
OSHOak Street Health, Inc.COM6,368$271.0K<0.1%History
First Tr Bick Index FD33733H107COM SHS7,907$270.0K<0.1%–
DBX ETF Tr233051762XTRACK MSCI CHNA6,357$257.0K<0.1%–
SWXSouthwest Gas Holdings, Inc.COM3,778$253.0K<0.1%History
HCCWarrior Met Coal, Inc.COM10,825$252.0K<0.1%History
VGIVirtus Global Multi-Sector Income FundCOM21,394$252.0K<0.1%History